QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FOR

Audiovisual Maintenance Services for DEOMI

PATRICK AFB, FL

03 March 2014 Quality

Assurance

Surveillance

Plan

(QASP)

Audiovisual Maintenance Services for DEOMI Contract

Number

TBD

Table of Contents

Section A – Purpose

1. This Quality Assurance Surveillance Plan (QASP) has been developed to provide Contracting Officer Representative (COR) an effective and systematic method to evaluate Contractor provided services as required by the terms and conditions of the contract. This plan uses DOD Guidebook for the Acquisition of Services (05 June 2012), with respect to the Government’s quality assurance requirements.

2. This plan is based on the premise that the Contractor is responsible for contract management and quality control, not the Government. The Government’s objective in having the service provided is to obtain database support in support of DEOMI’s Organizational Assessment Program. A contract to provide the service is the best means of achieving that objective and results.

3. This plan describes the method(s) used to evaluate Contractor provided services, and not the details of how the Contractor accomplishes the work. Contracting Officer Representative (COR) will utilize various surveillance methods as a means to evaluate the Contractor’s performance. The surveillance procedures identified in this plan, in concert with the Contractor’s quality control procedures, will assure the Government of acceptable Contractor performance.

4. The role of Government quality assurance is to ensure contract standards are achieved. In conducting surveillance, COR are to be objective, fair, and consistent in evaluating Contractor performance against the performance standards.

5. This plan is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of Contractor performance is maintained.

Section B – Roles and Responsibilities of the Multi- Functional Team (MTF)

1. Contracting Officer

a. Advises the multi-functional team on performance plan development.

b. Manages the listing of Contracting Officer Representative (COR) assigned to the contract, indicating their areas of responsibilities and limitation of authority, and ensures that the Contractor is notified of such.

c. The CO is the only person with authority to direct the contractor, make interpretations of and changes to the contract and resolve disputes or conflicts with the contractor.

d. Multi-functional team advisor for developing incentives/remedies, as appropriate, tied to performance objectives and performance thresholds.

e. Maintains in the contract file documentation of training provided by contracting personnel and/or QAPC identified herein.

f. Ensures the multi-functional team exercises acquisition authorities and responsibilities according to the Federal Acquisition Regulation (FAR), Department of Defense Federal Acquisition Regulation Supplement (DFARS) and Air Force Federal Acquisition Regulation Supplement (AFFARS).

2. Contract Specialist

a. The focal point for issues regarding the contract.

b. Prepares and processes modifications to the contract.

c. Assists the CO in ensuring contractor performance meets contract standards.

d. Responsible for the day-to-day monitoring of the contractor’s performance in the areas of contract compliance, contract administration, cost control, and property control.

e. Reviews the COR assessment of the contractor’s performance.

f. Resolves all differences between the COR version and the contractor’s version of events.

3. Functional Director/Functional Commander (FD/FC)

a. Identifies mission essential services, to include developing the necessary documents in accordance with DoDI 3020.37, Continuation of Essential DoD Contractor Services During Crisis.

b. Reviews Contractor performance documentation, prepared by Contracting Officer Representative (COR), on a regular basis to ensure performance is compatible with contract and mission objectives while supporting a higher level of Contractor performance, and fostering synergistic partnerships.

c. Assigns competent and capable functional experts to the multi-functional team who will be available full time or as warranted by the procurement cycle.

d. Nominates qualified individuals as CORs, primary and an alternate.

e. Ensures CORs maintain proficiency and evaluate the CORs job performance not less than annually. Ensures all personnel within the functional area who may have contact with Contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest.

4. Contracting Officer Representative (COR)

a. Develops technical requirements and independent cost/Government estimates for contract services.

b. Conducts Government contract quality assurance by or under the direction of Government personnel.

c. Evaluates and documents the Contractor’s performance in accordance with the procedures set forth in this plan.

d. Serves as on-site technical managers assessing contractor performance against contract performance thresholds.

e. Responsible for monitoring, assessing, recording and reporting on contractor compliance with the terms and conditions of the contract.

f. Notifies the Contracting Officer of any performance deficiencies and provide any recommendations to improve the performance plan or performance work statement (PWS).

g. Maintains surveillance documentation in the approved DoD CORT Tool.

h. Recommends improvements to the Performance Work Statement (PWS) and Performance Plan (PP), throughout the life of the contract.

i. Recommends any changes necessary to the task order, specifications, instructions, or other requirements that will provide more effective operations or eliminate unnecessary costs.

5. Multi-functional Team (MFT) also referred to as the Acquisition Team

a. Fosters partnerships with industry to ensure exchanges of information among the service industry and other business experts occur. Ensures key stakeholders participate in developing, implementing and executing the acquisition strategy.

b. Provides support to senior leadership as required (i.e., performance metrics, data, briefings).

c. Researches the commercial market to ensure the multi-functional team is using the most efficient and effective assessment methods, techniques, and best commercial practices in performance of the contract.

d. Develops, implements and executes a performance-based acquisition strategy, to include performance metrics that supports a higher level of Contractor performance, fosters synergistic partnerships, accommodates changing or unforeseen mission needs and leverages commercial best practices.

e. Ensures the acquisition strategy aligns mission performance needs with performance-based work statements and acquisition approaches designed to deliver the desired mission support results.

f. Manages risk to ensure mission performance is within cost and schedule constraints.

g. Develops, implements and executes a source selection, if applicable, that provides an integrated assessment of the offeror’s proposal and ensures a best value source selection based on the requirements of the Request for Proposal.

h. Plans, programs, and budgets adequate funds to ensure the execution is within approved funding baseline.

i. Develops implements and manages milestones to ensure the acquisition supports mission requirements within the approved funding baseline.

j. Identifies opportunities to improve performance throughout the life of the acquisition. This includes benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the Performance Plan to implement initiatives, and monitoring the success of implementation.

k. Assesses and manages Contractor performance data, to include submitting Contractor Performance Assessment Reporting System (CPARS) reports.

l. Develops, implements, and executes performance measurement and management in accordance with the Performance Plan.

6. Contractor

a. Complies fully with the terms and conditions of the contract.

b. Maintains and implements a quality control plan that is acceptable to the Government.

c. Ensures that non-conformance of contract requirements are identified, corrected, and prevents recurrence.

d. Tenders to the Government for acceptance only those services that conform to contract requirements.

e. Recommends any changes to the contract that will provide more effective operations or eliminate unnecessary costs.

Section C – Service Summary and Method of Surveillance As a minimum, CORs will monitor, review, and report on the Contractor’s performance and compliance with all Service Summary (SS) items shown below (from Section 3 of the PWS). The service requirements summarized below are performance objectives that relate directly to mission essential items. The performance thresholds referenced in the table briefly describes the minimum acceptable levels of service required for each service requirement. The performance thresholds established for each of the performance objectives are the number of defects permitted before the COR notifies the contracting officer in accordance with FAR 52.212.4, Contract Terms and Conditions- Commercial Items, or FAR 52.246-4, Inspection of Services - Fixed Price.

Response within 72 hrs for NON-CRITICAL requests 0 = Satisfactory 1= Unsatisfactory Periodic

NON-CRITICAL equipment shall be repairs and operating in full compliance within 120 work hours of notification 0 = Satisfactory 1= Unsatisfactory Periodic

1= Unsatisfactory Quarterly

1= Unsatisfactory 100%

1= Unsatisfactory 100%

1= Unsatisfactory Periodic

1= Unsatisfactory Semi-Annually

Section D – Surveillance Procedures

1. Surveillance Schedule.

a. The COR will develop a periodic surveillance schedule, based on this Plan. A locally devised form is available in Appendix 1, Periodic Surveillance Schedule. The schedule shall be completed no later than the first calendar day before the beginning of the period it covers. Copies of the surveillance schedule shall be provided to the FD/FC and the Contracting Officer, before the start of the surveillance period. Surveillance schedules, when completed, shall be marked “For Official Use Only,” and shall not be shown to the Contractor.

b. Changes to the surveillance schedule shall be sent to the FD/FC and the Contracting Officer. The COR shall document the reason(s) for changes to the surveillance schedule, and maintain the documentation in the COR files with the corresponding surveillance schedule that was changed.

2. Periodic Surveillance.

a. It is essential that the COR conduct the exact number of surveillances on the surveillance schedule for an effective quality assurance program. COR shall document surveillance as it is conducted using a Surveillance Assessment Report (SAR) or Performance Assessment Report (PAR). An example of a locally devised form is available in Appendix 2, Surveillance Assessment Report (SAR), to include procedures for documenting the Contractor’s performance.

b. The COR shall conduct surveillance of the Contractor’s performance by determining whether or not the performance meets the standards contained in the contract.

c. The COR shall record surveillance results. Surveillance documentation shall include as a minimum, the date, time, and location the surveillance was conducted, rating results of the surveillance (i.e. Exceptional, Very Good, Satisfactory, Marginal, or Unsatisfactory), contract paragraph number referencing the requirement, a short description of the requirement being surveyed, applicable remarks, signature of COR conducting the surveillance. When COR determine that Contractor performance is unacceptable, the specific reason for the unacceptable performance shall be recorded on the CORs surveillance documentation.

3. Customer Complaints Any base employee observing unacceptable services, incomplete, not performed, or performed improperly, should immediately contact the COR. COR shall ensure complaint procedures and forms are made available to all customers. COR shall receive, document and validate or invalidate all complaints. If the complaint is invalid, the COR shall contact the customer and explain why the complaint was invalid. COR shall complete and issue the Contractor a Corrective Action Report (CAR) (Appendix 5) for all valid customer complaints. COR shall document when the complaint is resolved, and document the customer notification on the Customer Complaint Record. A locally devised form is available in Appendix 3, Customer Complaint Record. If the Contractor challenges the validity of any complaint, and the COR and Contractor cannot come to agreement, the complaint in question shall be forwarded to the Contacting Officer (CO) for resolution. Complaints will be tracked (Appendix 4) and if the performance threshold is exceeded, the COR shall notify the Contacting Officer in writing so that the appropriate action can be taken. (NOTE: ANY CUSTOMER COMPLAINT METHOD OF SURVEILLANCE MUST BE BASED ON ADEQUATE CUSTOMER COMPLAINT TRAINING. THE CONTRACTOR SHOULD FURNISH WRITTEN INSTRUCTIONS, PUBLICITY, INFORMATION, BRIEFINGS, AND USE ANY OTHER MEANS TO EDUCATE CUSTOMERS AND BASE POPULACE.)

Section E – Surveillance of Non-Service Summary (SS) Items The Government has the right to inspect and test all services called for by the contract, to the extent practicable at all times and places during the term of the contract. Therefore, COR will conduct surveillance for SS items and non-SS items as well. When the COR identifies unacceptable performance on non-SS items, the COR shall follow the procedures in Section F of this plan, entitled, Unacceptable Performance.

Section F – Unacceptable Performance

1. Unacceptable Performance

When the Contractor’s performance is deemed unacceptable, COR shall attempt to determine the cause of the unacceptable performance. If any Government action, or lack of action, caused the unacceptable performance, the unacceptable performance shall not be counted against the Contractor. The COR shall take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. When the unacceptable performance is not the result of Government action, or lack of action, COR shall promptly notify the Contractor and issue a Corrective Action Report (CAR) to the Contractor to assure corrective action is taken. By initialing and dating the CAR, the Contractor is acknowledging that he or she has been informed of the unacceptable performance, and not necessarily agreeing that the performance was unacceptable. COR shall direct the Contractor to re-perform the service, if possible, without additional cost to the Government. Unacceptable performance re-performed by the Contractor shall still count as unacceptable performance. If the Contractor challenges the validity of the CORs unacceptable surveillance findings, and the COR and Contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. The Contractor shall be required to return all completed CARS to the COR, no later than the suspense date indicated on the CAR. The COR shall maintain a CAR Log (Appendix 5) of all CARS issued to the Contractor. The CAR log shall contain the CAR number, date issued, Contractor, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contact.

2. Contracting Officer Notification.

a. Major Finding. If at any time COR identify a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings and notify the Contracting Officer immediately in writing.

(1) Contractor failure to meet a Performance Threshold.

(2) A significant morbidity or mortality involving Contractor personnel,

(3) Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

(4) Failure to provide corrective action to deficiencies identified by the Contractor within a prescribed suspense period.

(5) Any failure to adhere to security regulations that results in a security incident.

(6) Revocation of clinical privileges.

b. Minor Finding. A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR shall document the findings, but is not required to notify the Contracting Officer. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing.

3. Corrective Action Requests (CARs):

CARs will be initiated whenever the Contractor is not meeting contract quality requirements. All CARs will be logged into the Corrective Action Log by the COR for tracking and trending purposes. An example of a locally devised form is available in Appendix 5, Corrective Action Log and Appendix 4, Corrective Action Report (CAR). The FC/FD will be consulted as necessary regarding the level of corrective action to be pursued. CARs will be written and will be classified as level I, II, or III depending on the criticality of the discrepancy.

a. LEVEL I CAR: On-the-spot corrective action will be taken with the responsible Contractor’s personnel to correct the observed deficiency and its cause. This method will be used only when the deficiency is determined to be minor in nature and follow-up action is unnecessary. The Contractor technician involved and the contract manager should be briefed as soon as practical that a Level I CAR is being initiated and why. A suspense date is not required for Level I CARs. A copy of the CAR may be provided to the Contractor at their request. File these completed CARs in the Closed CAR section of the contract surveillance file. A copy will also be provided to the FC/FD for informational purposes and further routing if required. Numerous Level I CARs in the same area will require a level II CAR to be issued.

b. LEVEL II CAR: This method will be required when the defect exceeds Level I. Discrepancies more severe in nature (safety hazard to personnel or hardware, clear violation of contract requirements, numerous Level I CARs in the same area, etc.) are documented as level II CARs. Each CAR will be documented in the monthly surveillance status report and will be logged into the Corrective Action Log. The original Level II CAR will be signed by the initiating COR and provided to the Contracting Officer (CO) through FC/FD for review and initialing prior to being issued to the Contractor. The CAR will be routed to the Contractor for response to the cause of the discrepancy and corrective action. FC/FD files a copy of the Level II CAR in the Open CAR section of contract surveillance file. When the Contractor submits a reply as to cause of the discrepancy and corrective action, the COR will review for adequacy and determine if follow-up action is required. The CAR will not be considered closed until the Contractor has provided adequate corrective action as determined by the COR. File these completed CARs in the Closed CAR section of the contract surveillance file.

c. LEVEL III CAR: Level III CARs are necessary when there are repeat discrepancies, inadequate corrective action or failure to achieve corrective action. Level III corrective action is an escalated CAR to Contractor management to effect the required change to Contractor’s quality control program. FC/FD and CO will sign Level III CARs. The CAR will not be considered closed until the Contractor has provided adequate corrective action as determined by the COR. FC/FD files these completed CARs in the Closed CAR section of the contract surveillance file.

4. Remedies for Unacceptable Performance.

a. In accordance with the contract Inspection of Services Clause 52.246-4, if any of the services do not conform to the contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the Government may -

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the task order price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

b. If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may --

(1) By contract or otherwise, perform the services and charge to the Contractor any cost incurred by the Government that is directly related to the performance of such service; or

(2) Terminate the contract or task order for default.

Section G – Certification/Acceptance of Services

3. COR are responsible for scheduling and completing WAWF training from the base Accounting and Finance Office.

Section H – Contractor’s Quality Control Plan

1. In accordance with the PWS, the Contractor shall establish and maintain a Quality Control Plan to ensure the requirements of the contract are provided as specified. The Contractor shall provide a Quality Control Plan describing the inspection system for the requested services listed in the PWS. The Contractor shall develop and implement procedures to identify, prevent, and ensure non-recurrence of unacceptable services. The Contractor shall update the plan as changes occur and changes shall be submitted for review and acceptance by the Contracting Officer. The Contractor’s quality control plan shall contain, as a minimum, the following items:

a. A description of the inspection system to cover all services. Description shall include specifics as to the areas to be inspected on a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspector(s).

b. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

c. A description of how the records will be kept. Records must document all inspections and corrective or preventive actions taken.

2. Contractor Inspection Records. Records of inspections shall be kept and made available to the Government throughout the contract performance period and for the period after contract completion until final settlement of any claims under this contract.

Section I – Contract Management

1. The multi-functional team shall utilize the following approaches, methods, and tools to manage the contract upon award:

a. COR shall conduct, document, track, and analyze Contractor performance via monthly surveillances. The surveillance results shall be maintained as Past Performance Information (PPI) and utilized to submit information into the annual Contractor Performance Assessment Report System (CPARS). Surveillance results, along with the Contractor’s submittals, and Management and Oversight of Acquisition of Services Processes (MOASP), will be used to develop metrics to track Contractor’s overall compliance with contract terms and conditions.

b. The Contractor shall maintain and implement a quality control plan to ensure the contract services conform to the requirements of the performance work statement. COR shall monitor Contractor’s performance against the Contractor’s quality control plan.

c. The multi-functional team shall conduct periodic progress meetings, not less than quarterly, to review the Contractor’s performance. At these meetings the Contracting Officer will apprise the Contractor of how the Government views the

Contractor’s performance and the Contractor will apprise the Government of problems, if any, being experienced. The Contractor will also notify the Contracting Officer, in writing, of any work being performed, if any, that the Contractor considers over and above the requirements of the contract. Appropriate action shall be taken to resolve any outstanding issues.

2. Documentation Requirements.

a. Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. This documentation provides the Contracting Officer (CO) with Contractor status as it applies to the performance criteria and award fee data (if applicable). The CORs, as trained inspectors, will document deficient work by compiling facts describing the inspection methods and results. The CORs will develop documentation to substantiate nonconformance with the terms of the contract. The documentation, together with any recommendations, will be forwarded to the contract administrator, who will decide whether to elevate the problem to the Contracting Officer (CO) for corrective action.

b. The CO via a COR Duties and Responsibilities letter delegates inspection and acceptance to the COR. The CORs are required to maintain accurate records of the Contractor’s performance and keep the FD/FC informed of all data pertaining to Contractor status.

c. At a minimum the CORT tool files shall contain the following documentation, however COR will need to consult with the QAPC to obtain an updated copy of any missing documentation:

3. Contract Surveillance File.

a. A monthly surveillance file shall be uploaded into the CORT tool and maintained by each COR who is assigned to accomplish quality assurance for a performance requirement. The Tool shall be maintained in a computer database. As a minimum, the surveillance file in the tool shall contain the following:

1. COR Appointment/Nomination letter from Functional Commander

2. COR Duties and Responsibilities Designation letter

3. Copy of entire contract including Performance Work Statement (PWS)

4. Copy of all modifications

5. Copy of the Quality Assurance Surveillance Plan (QASP)

6. Customer complaint documents

7. Surveillance Assessment Reports (SARs)

8. Corrective Action Reports (CARs) – both open and closed and a log to manage CAR numbering

9. Surveillance correspondence

10. The CORT Tool file may also contain any other sections or information that the COR finds useful.

b. Contractor Performance Metrics. CORs shall furnish monthly to the FD/FC, the Contractor’s performance metrics of SS items, analysis of trends discovered in surveillance, CARs issued, and summary of Contractor’s performance. The functional commander/supervisor will consolidate COR reports and approve or reject the report. If approved the COR shall upload the Approved SAR into the CORT TOOL to await approval from the Contracting Officer on the Contractor’s performance and will have it uploaded into the tool by the 10th working day of the next month.

Appendix 1 – Periodic Surveillance Schedule

MEMORANDUM FOR 45 CONS/LGCB FROM: INSERT NAME OF ORGANIZATION

SUBJECT: Inspection Schedule for the month of INSERT (spell-out) MONTH, INSERT FOUR DIGIT YEAR, INSERT NAME OF CONTRACT, Contract # INSERT CONTRACT NUMBER,

1. The below listed inspections will be conducted at the scheduled place and times, and are subject to on-site verification by Contract Administration Personnel. Contracting Officer Representative (COR) may conduct numerous periodic inspections, which will encompass all areas of Contractor responsibility.

QUALITY ASSURANCE INSPECTION SCHEDULE

PAFB

PAFB

PAFB

PAFB

PAFB

PAFB

2. COR’s will be available and ready for scheduled inspections on the dates and times previously mentioned. In addition, all scheduled inspections shall start at the specified times, unless rescheduled by the COR or upon request of Contractor personnel.

3. Any required deviation from this schedule will be coordinated and have the concurrence of the COR, Contract Administrator, and the Contractor Quality Control Manager. Please direct any questions to XXXXXXXXXXX 854 -1234.

JOHN DOE, Lt Col, USAF Functional Commander/Supervisor

Appendix 2 – Surveillance Assessment Report (SAR) See attachment 1(If more space is needed, use reverse and identify by number)

Quality

Assurance

Surveillance

Plan

(QASP)

Development of

DEOMI’s

Assessment to

Solution

Systems Contract

Number

TBD

Quality

Assurance

Surveillance

Plan

(QASP)

Development of

DEOMI’s

Assessment to

Solution

Systems Contract

Number

TBD

Surveillance Assessment Report (SAR) Evaluation Criteria

Below listed is COR guidance for assessing the Contractor’s performance. On each Surveillance Assessment Reports (SAR) the Contractor will be evaluated in each of the following categories if applicable for each Service Summary Item or PWS task item. The highest rating for PWS task items will be SATISFACTORY as these items normally will not contain a threshold.

A) Quality of Product or Service. Assess the Contractor’s conformance to contract requirements, specifications and standards of good workmanship (e.g., specified technical, professional, environmental, or safety and health standards). List and assess any sub-elements to indicate different efforts where appropriate. For example: Are reports/data accurate? Does the service provided meet the specifications of the contract? Does the Contractor’s work measure up to commonly accept technical or professional standards? Assess the degree of Government direction required to solve problems that arise during performance.

B) Schedule. Assess the timeliness of the Contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or effect the schedule variance). This assessment of the Contractor’s adherence to the required delivery schedule should include the Contractor’s efforts during the assessment period that contributes to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

C) Cost Control. Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost. For example: Does the Contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the Contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the Contractor’s budgetary internal controls adequate?

D) Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification and resolution of issues in controversy), and customer satisfaction. Is the Contractor oriented toward the customer? Is interaction between the Contractor and the government satisfactory, or does it need improvement? Also, in making the assessment, include the adequacy of the Contractor’s accounting, billing, and estimating systems; and the Contractor’s management of Government Property (GFP), if a substantial amount of GFP has been provided to the Contractor under the contract.

E) Management of Key Personnel. Assess the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel. For example: How well did the Contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the Contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the Contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

Surveillance Assessment Report (SAR) or Performance Assessment Report (PAR) Evaluation Criteria

For each Surveillance Assessment Report (SAR), Contracting Officer Representative (COR) will assign one of the following ratings for each category (i.e. Quality of Product or Service, Schedule, Cost Control, Business Relations, Management of Key Personnel, and Other) if applicable.

EXCEPTIONAL: Far beyond what is usual in magnitude or degree;

surpassing what is common or usual or expected.

This kind of performance exceeds contractual requirements resulting with much benefit to the Government. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems (if any) for which corrective actions (if any) taken by the Contractor were highly effective.

Note: To justify an Exceptional rating, the COR will identify significant event(s) and state how it was a benefit to the Government. However, a singular benefit could be of such magnitude that it alone constitutes an Exceptional rating. Also, there should have been NO significant weaknesses identified.

Example Service Summary

In this example, if the Contractor provides 4 Microsoft Excel Classes to Government Employees, an EXCEPTIONAL rating could be merited.

Rational: The Contractor exceeded the Performance Threshold by 2 classes, which results in much benefit to the Government.

VERY GOOD: Better than or superior to the average.

This kind of performance meets or exceeds contractual requirements resulting with some benefit to the Government. The contractual performance of the element or sub- element being assessed was accomplished with some minor problems (if any) for which corrective actions taken by the contract were effective.

Note: To justify a Very Good rating, the COR will should identify the significant event and state how it was a benefit to the Government. Also there should have been no significant weaknesses identified.

In this example, if the Contractor provides 3 Microsoft Excel Classes to Government Employees, a VERY GOOD rating could be merited.

Rational: The Contractor exceeded the Performance Threshold by 1 class, which results in some benefit to the Government.

SATISFACTORY: Performance meets the requirements.

This kind of performance meets only the minimum contractual requirements. The contractual performance of the element or sub-element could contain some minor problems for which corrective actions taken by the Contractor appear or was satisfactory.

Note: To justify a Satisfactory rating, there should have been only minor problems, or major problems the Contractor recovered from without impact to the contract. Also there should have been NO significant weaknesses identified. Per DoD policy, a fundamental principle of assigning ratings is that Contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

In this example, if the Contractor provides 2 Microsoft Excel Training Classes to Government Employees, a SATISFACTORY rating could be merited.

Rational: The Contractor met the minimum requirements of the Performance Threshold.

MARGINAL: Just barely adequate or within a lower limits.

This kind of performance does not meet some of the contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the Contractor has not yet identified corrective actions. The Contractor’s proposed actions appear only marginally effective or were not fully implemented.

Note: To justify Marginal performance, the COR will identify significant event(s) in which the Contractor had trouble overcoming and state how it impacted the Government.

In this example, if the Contractor provides 1 Microsoft Excel Class to Government Employees, a MARGINAL rating could be merited.

Rational: The Contractor missed the Performance Threshold by 1 class, which does not benefit the Government nor meets the terms of the Example Service Summary.

UNSATISFACTORY: Not meeting requirement(s) or the action of not fulfilling a Service or needs, not adequate recompense (compensation for loss).

This kind of performance does not meet contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the Contractor’s corrective actions appear or were ineffective.

Note: To justify and Unsatisfactory rating, the COR will identify a significant event(s) in which the Contractor had trouble overcoming and state how it impacted to Government. However, a singular problem could be of such serious magnitude that it alone constitutes an unsatisfactory rating.

In this example, if the Contractor provides 0 Microsoft Excel Class to Government Employees, an UNSATISFACTORY rating could be merited.

Rational: The Contractor missed the Performance Threshold by 2 classes, which does not benefit the Government nor meets the terms of the Example Service Summary.

Surveillance Assessment Report (SAR) or Performance Assessment Report (PAR), Assigning Ratings

Rating the Criteria: For Contractor performance rating purposes, the following rating criteria will be used “Exceptional” = 100, “Very Good” = 90, “Satisfactory” = 80, “Marginal” = 70, or “Unsatisfactory” = 60%.”

Each SAR or PAR will contain a rating for each area previously mentioned and will be tallied at the end of each month. The Contractor’s performance rating will be based on monthly and annual means (averages) from each SAR or PAR report as displayed in the examples below.

Example Rating for 1 (One) Month (e.g. January)

Inspection Quality of Product or Service

Schedule

Each annual rating will consist of tallied monthly ratings, which will be used to compute the annual mean (average) as displayed in the example below.

Example Annual Rating

Month Quality of Product or Service

Schedule

The annual mean for each catagory will be the measured against the following rating scale which will be used for the Contractor Performance Assessment Reporting System (CPARS) as indicated below:

Final Rating Scale

*Note: The rating period will start at the beginning of each Option Year and end at the completion of each Option Year. In some instances the annual mean (average) may not include a full 12-month reporting period.

When reporting the Contractor’s performance in reference to PWS task items, these items will be referenced in the category entitled “Other Areas” of the CPARS report. All PWS task items that are not referenced in a Service Summary (SS) will be addressed in this category collectively and not separately. Computing the CPAR rating for PWS task items will follow the same schematic of Service Summary items [i.e. computing the means (averages)]. To aid in ruling out subjective ratings, the Contractor will be afforded the opportunity to contest such ratings during Multi-Functional Team (MTF aka BRAG) meetings.

Appendix 3 – Sample Customer Compliant Form

Appendix 4 – Corrective Action Log

Control #: The control number will be made up of the first two letters of the office symbol, the last two digits of the calendar year, and a three digit number starting with 001 and progressing upward throughout the calendar year (e.g., CE08-001).

Appendix 5 – Corrective Action Report (CAR) image2.jpeg image3.jpeg image4.jpeg image5.png image6.jpeg image7.jpeg image1.jpeg